Compliance support for highly regulated industries

Most members of a national securities exchange, as well as brokers and dealers, must keep current a variety of books and records that relate to their business.

• 24/7 offline data access and search with role-based permissions.

• Messages must be stored in duplicate.
• Data must be verified automatically for quality and accuracy.
• Messages must be date/time-stamped and serialized.
• A searchable index of all data must be maintained.
• Messages and indexes must be easily retrievable.

• Stored data backed up on redundant platform with 99.999% uptime SLA.
• Full-text indexing and search capability.
• Time-stamped, auditable file activity via Audit Log and Admin File Management.
• Configurable retention policies.

Hedge fund managers with assets in excess of 00M must register with the SEC, including provisions for securing electronic communication such as email and instant messages.

• Archive and index of relevant file types.
• Secure, permission-based sharing.
• Data encrypted in transit and at rest.
• Versioning and full audit trail of sharing and file management activity.

Funds and advisers can maintain records electronically if procedures protect records from loss, alteration, or destruction; access is limited; and reproductions are complete, true, and legible.

• Resilient storage platform with 99.999% uptime SLA.
• Role-based permissions for accessing archive.
• File access is logged and auditable.

Records, including email messages, must be preserved at least 6 years, the first 2 in an easily accessible place.

• Configurable retention and data loss prevention policies enable long-term retention.
• Files are accessible 24/7/365.